Performance of the Hollow State: State and Local Responses to the Devolution of Affordable Housing

Author: Mona Koerner

Dissertation School: University of Texas at Austin

Abstract:

The purpose of this dissertation is to examine how the major federal housing block grant, HOME Investment Partnerships Program, has lead to changes in various elements of governance at the state and local level and the extent to which these elements affect housing policy development and housing policy outcomes. This project will assess the performance of HOME program participating jurisdictions and seeks to gain understanding of the relationship between performance and governance (statutes, policy mandates, organizational, financial, and programmatic structures, administrative rules and guidelines, and institutionalized rules and norms). By developing a better understanding of the relationship between these elements of governance and performance, this dissertation will contribute to building a better theory of governance and promote greater clarity for future policymaking and program design.

The Cranston-Gonzales National Affordable Housing Act of 1990 created the HOME Investment Partnerships Program with the purpose of increasing the supply of decent, safe and sanitary affordable housing. This program shifted responsibility for obtaining this goal from the federal government to states and local governments via a block grant with significant discretion at the state and local level to design and implement affordable housing production programs. It is expected, given the diversity of state and local governments, that the policies and programs adopted since 1990 vary widely. It is further expected that the efficiency and effectiveness of these programs also vary widely. The purpose of this dissertation is to identify the levels of efficiency and effectiveness that have been achieved by localities and to analyze how elements of governance at the local level have affected their performance under the HOME program. Governance elements unique to a local jurisdiction (such as: a dedicated agency for housing, a working relationship with other governmental entities, mechanisms used to manage private sector partners, or program designs) may hinder and/or facilitate greater success in providing affordable housing.

In order to understand the relationship between governance and performance and to analyze their implications, two different comparative analyses will be undertaken. One method is to establish general empirical relationships among two or more variables while all other variables are held constant using descriptive statistics, multivariate regression, Substantively Weighted Analytic Techniques (SWAT) and Data Envelopment Analysis (DEA). An analysis of performance will measure how program outcomes are affected by differences among the jurisdictions with regard to overall trends, allocation of resources among types of activities, categories of beneficiaries, or the use of leveraged resources utilizing data from HUD's integrated disbursement and information system (IDIS). A second method involves comparing jurisdictions and a single jurisdiction over time. An analysis of the elements of governance that affect performance will be performed utilizing data gathered through site visits to a sample of jurisdictions (purposively chosen to ensure variability in the level of performance).

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